custodians under draft amendments to the Provident Fund (PVD) Act and within the securities trading framework. The Custodian Club consists of 13 members, including commercial banks engaging in fund supervision
to support the using of new technology in several activities in capital market, in particular fundraising, trading, and clearing and settlement. We believe that the embrace of innovation would promote
SEC?s further investigation has revealed that while working at Globlex, {A} made trading orders for the securities and derivatives accounts of her clients who had given their usernames and passwords to
performing any action in violation of law.The SEC probe into the case and found that the four investment consultants, responsible for securities trading accounts of overseas brokers (omnibus account
Mr. Jaray Chanchaisilp Mr. Jaray Chanchaisilp, director of Silver Line Trading Intertrade Co., Ltd. and Diamond and Silverline Group Co., Ltd., operated derivatives business without license or
The Siam Commercial Bank Public Co.,Ltd The Siam Commercial Bank Public Co.,Ltd, as a securities business operator in the category of Brokerage, Trading and Distributing securities as investment
Bangkok, February 11, 2015 ? The SEC suspended {A}, a securities investment consultant of KT ZMICO Securities Company Limited, for trading securities on behalf of client; failure to perform the
Following the client’s complaint regarding damage from block trading of single stock futures, the SEC’s further investigation revealed that during the month of October 2017, {A} failed to comply with
Bangkok, September 20, 2013 - The SEC imposed a one-month suspension on {A}, a derivatives investment consultant of Asia Plus Securities Plc. for trading derivatives on behalf of her client.Following